22 replies to this topic

[VictoriaRK]

Hello, I have a question about how to document our internal audits. Our facility is in the process of getting SQF, we have our audit in the spring. We had a assessment audit and the auditor mentioned we should just use the SQF checklist to audit the whole system.

 

This might seem like a silly question, but do I just download a copy of the checklist and go through the entire thing filling out my observations and the records and documents I checked? Or do I split it up, or copy and past the information in the checklist into a internal audit document? I guess I'm just looking at the best way to document that I have audited everything.

 

We are a very small facility so likely it would be just me doing the auditing, with the possibility of help from another trained employee in the future. 

 

Does anyone here use the checklist to do their audits and how do you record it or file it?

 

Thank you, any help is greatly appreciated. 

[mehurst1361]

There is an Excel version of the checklist. We use this as part of the validation portion. Use this editable version to help organize your audits by even adding extra columns for evidence. It is even used as a hyperlink document to link to our interpretation of the code. In this way, it is almost a master document to help organize and run everything through. The hyperlinks is a lot of work but in the long run but is helpful to get everything easier during the audit.

[Scotty_SQF]

I use the checklist.  I document compliance or non-compliance and document my evidence.  Works fairly well.  

[jfrey123]

Checklist, yep!  I recommend you use the Excel sheets that SQF themselves provide, just plain easy:  SQFI | Food Manufacturing (make sure you go back and choose the proper category for your business, this link goes to their standard Food Manufacturing category).

 

You'll use this checklist to audit your entire system, line by line in the code, to identify gaps and decide which of your internal programs need to be updated to meet code.  Doing this sooner than later will allow you to build months of records prior to your audit in the spring.  Note that SQF 2.5.4.1 requires you to audit your full system at least annually: 

- part i of this requires you to use the SQF audit checklist or a "similar" tool (again, easier to just use theirs);

- part ii of this requires you to record objective evidence of compliance or non-compliance (3 of my plants earlier this year got dinged for merely writing "compliant" for some of the code items as they went through, SQF is demanding you cite your internal program to prove the compliance/non-compliance)

[VictoriaRK]

Thank you, this is all great advice! What most of you have mentioned is what I started out doing, but I wanted to make sure I was on the right track. So basically, I can use the editable SQF excel checklist, fill out each section with what procedures cover that item and dates of last records and etc, and note any non-conformances and follow-up.

 

I would do this process at least once annually, so if I'm doing this on my own, should I just date when I do each section? (since it might take me a little while to get through everything) Or just date when I start the audit and when the entire thing is complete?

[Abby7]

Hello:

 

I fully support the above responses - use the SQF supplied checklist - just make sure to include some objective evidence, which will mostly be the name of the document/checklist/program related to the clause, and to calculate the score.

I like the idea of adding hyperlinks directly into the Internal Audit.

Also wanted to add, our auditor 'observed' last year. our version of the checklist didn't include some basic information at the top like "Facility Name", Auditors names, dates for opening and closing meetings, Summary of facility operations, Score received etc - same stuff the audit report includes.

We had a different auditor this year, but he did look for these details.

 

On a different note - I also wanted to mention that our HACCP Plan flow diagrams were missing 'Product damaged &/or donated" from our Frozen Warehouse step during this years audit.  These were new to me and to the Internal Auditor consultant we use (who regularly teaches HACCP courses). We were also missing a "Fail" step from the metal detectors - again we hadn't considered documenting this on the process flow diagram before either.

So perhaps others may want to add these before their next audit.

 

Thanks to all who contribute to this community - certainty appreciated.

Edited by Abby7, 26 October 2023 - 07:41 PM.

[Abby7]

Hi Again:

 

I started by GFSI journey with the BRC Standard and understand that internal auditor independence was a priority.

The SQF standard, states " "where practical" an internal auditor should be independent of the function being audited."

 

Has anyone been challenged during a SQF audit by lack of auditor independence?

 

Just curious, as we have brought in a consultant to help us with this - perhaps unnecessary expense?

[Scampi]

Hi Again:

 

I started by GFSI journey with the BRC Standard and understand that internal auditor independence was a priority.

The SQF standard, states " "where practical" an internal auditor should be independent of the function being audited."

 

Has anyone been challenged during a SQF audit by lack of auditor independence?

 

Just curious, as we have brought in a consultant to help us with this - perhaps unnecessary expense?

 

 

How many employees total do you have?   Who is your SQFP back up?

Edited by Scampi, 26 October 2023 - 08:24 PM.

[Abby7]

Hi Scampi:

 

We are a small seasonal berry operation in the Fraser Valley of BC, with 23 employees.

The general manager is currently our SQFP back up -  we are trying to change that, but in the meantime, he is stretched to complete the senior management program review every year.  

[Tony-C]

As per previous posts, I don't see any sense in reinventing the wheel to come up with your own system when SQF have provided a checklist and even referred to it in the SQF Code. I'm sure most people have bigger fish to fry!

 

I would just split it up and do it in sections depending how big a chunk you want to do at a time. From Internal Audits & Inspections Edition 9 Guidance Document:

The internal audit can be broken down into multiple pieces and conducted throughout the year to meet the annual requirement. However, all elements must have been audited at least once. It may be necessary to update the audit schedule based on customer complaints, internal or external food safety events such as recalls or regulatory warning letters, or internal or external audit results.

 

Kind regards,

 

Tony

[Scampi]

Hi Scampi:

 

We are a small seasonal berry operation in the Fraser Valley of BC, with 23 employees.

The general manager is currently our SQFP back up -  we are trying to change that, but in the meantime, he is stretched to complete the senior management program review every year.  

 

I think given your total employee count, that you managing in on your own would be "practical"  

[LPFreak1283]

I split my audits into chunks per month to internal audit the SQF program annually. I attached the schedule I use to ensure the whole program is completed by year end. Some elements are only 1-2 sections, so if I hit a month where the audit is very short, I will move ahead into the next month to not get backed up. I also work a very small plant and I am the only one completing the internal audits and have not had any real issues getting the audits completed!

Attached Files

•  Internal Audit Schedule.docx   16.35KB   82 downloads

[Scotty_SQF]

I work for a small company (less than 20) as well and handle all the internal audits.  So far, no push back from any auditor as they are very understanding that being in a small company, sometimes it falls on one person.

[Jason513]

Hi Scampi:

 

We are a small seasonal berry operation in the Fraser Valley of BC, with 23 employees.

The general manager is currently our SQFP back up -  we are trying to change that, but in the meantime, he is stretched to complete the senior management program review every year.  

 

Sr management should not be part of the SQF team, this likely will cause issues. 

---------------

In regards to auditing, you need to have someone on staff trained in auditing. Dont hire that out, just spend the money on ZOSI or some other program that shows you how to do internal audit. 

 

Small firm here, and it's never been an issue for me to do all the auditing, i also trained my SQF backup in auditing, without issue.

But if you use checklist, list how you are compliant, not just you are. Site you SOP and then check if possible that it is happening by walking the production area and citing evidence. 

[Abby7]

Thanks for all the insights.

I am a trained internal auditor and the SQF Practitioner. We use the checklist and site the SOPs and records and walk the production line during the IA.  So all good there, but now realize my "BRC bias" has perhaps added unnecessary work and costs as I was overly focussed on auditor independence.  There would be benefits to splitting up the code and auditing a portion each month.

 

So another question -  during the SQF audits, (5 to date/3 different auditors) they have all focussed on the senior management review and seem to expect evidence that the entire FSMS has been reviewed, which for us is another time crunch.  Any insights into how best to complete this?

 

Appreciate all contributions!

[jfrey123]

I split my audits into chunks per month to internal audit the SQF program annually. I attached the schedule I use to ensure the whole program is completed by year end. Some elements are only 1-2 sections, so if I hit a month where the audit is very short, I will move ahead into the next month to not get backed up. I also work a very small plant and I am the only one completing the internal audits and have not had any real issues getting the audits completed!

 

I was in a similar boat in my first QA job:  I was a QA supervisor for a department of one (myself) reporting to the plant manager.  I would run the spreadsheet once a year and make changes as necessary, and that satisfied auditors.  I went back a couple times after I left to help my replacement during some customer audits, and he had smartly broken out that whole spreadsheet into internal documents that corresponded to our program (our program was written with it's own numbering scheme that didn't directly correlate to SQF's numbering).  As I sat with him and reviewed the new forms he had created, and saw the calendar where he noted when he would audit each program, I couldn't help thinking, "Damn, wish I'd thought of that..."

[jfrey123]

Thanks for all the insights.

I am a trained internal auditor and the SQF Practitioner. We use the checklist and site the SOPs and records and walk the production line during the IA.  So all good there, but now realize my "BRC bias" has perhaps added unnecessary work and costs as I was overly focussed on auditor independence.  There would be benefits to splitting up the code and auditing a portion each month.

 

So another question -  during the SQF audits, (5 to date/3 different auditors) they have all focussed on the senior management review and seem to expect evidence that the entire FSMS has been reviewed, which for us is another time crunch.  Any insights into how best to complete this?

 

Appreciate all contributions!

 

Review of an entire FSMS for me usually entails auditing the program to the SQF checklist as others have mentioned, along with showing review of specific programs in the management meeting minutes.  Again speaking to my first job, our FSQMS was broken into 29 sections.  During quarterly meetings with upper management, I would literally write in time to review sections 1-7 for the first quarter, 8-14 second, so on, and when we had those meetings we would review the programs in those sections along with some of the records and discuss whether the programs were effective against the SQF standards.  It made for long meetings, but it was the best way I could think of doing it for our small family run business.  Others might have better ways of documenting this.

 

Those meeting minutes saved my bacon in a few audits.  There seemed to be a perception amongst my first few auditors that if a program hadn't been revised in the past year, then it hadn't been reviewed.  From my perspective, I was not interested in amending a 1,500 page physical book just to add recent dates and say "Reviewed - no changes made" in the revsion history.  Being able to show programs had been reviewed with management signatures on a meeting attendance sheet got me out of having to make that silly revision to all of our programs.

[Scampi]

A summary of the year is a great way to meet the review requirement for senior 

 

Complaints, deviations by type, withdrawls, sampling summary etc etc

[Jason513]

Thanks for all the insights.

I am a trained internal auditor and the SQF Practitioner. We use the checklist and site the SOPs and records and walk the production line during the IA.  So all good there, but now realize my "BRC bias" has perhaps added unnecessary work and costs as I was overly focussed on auditor independence.  There would be benefits to splitting up the code and auditing a portion each month.

 

So another question -  during the SQF audits, (5 to date/3 different auditors) they have all focussed on the senior management review and seem to expect evidence that the entire FSMS has been reviewed, which for us is another time crunch.  Any insights into how best to complete this?

 

Appreciate all contributions!

 

 

Go to 2.1.2.1 and break out each section listed and have a review. I usually have 2 columns, 1 with each section mentioned in the 6 areas, then what the review states about each section 

 

IE 

 

Changes to Food Safety Policies    -------     The facility did not introduce any new policies this year because XXXXXX

Changes to procedures     --------------  Facility changed SOP XXXX to better capture XXXXX
Changes to Specs  ----------   Facility has updated Specs due to new suppliers, the new suppliers are listed on XXXXX
Changes to Food Safety Plan ----- Facility updated FSP due to new suppliers after a risk analysis was performed

Just go down the list and address each section.

Obviously I'm over simplifying this, but just address each thing i - vi 

 

Have signed off by Senior management....NOT SQF...The most senior you can get 

[kyrabowden]

Hi there,

 

I'm creating an internal audit for SQF requirements using the SQF supplied checklist for food manufacturing. Could you offer some insight on how to calculate the score? 

 

Thank you!

Hello:

 

I fully support the above responses - use the SQF supplied checklist - just make sure to include some objective evidence, which will mostly be the name of the document/checklist/program related to the clause, and to calculate the score.

I like the idea of adding hyperlinks directly into the Internal Audit.

Also wanted to add, our auditor 'observed' last year. our version of the checklist didn't include some basic information at the top like "Facility Name", Auditors names, dates for opening and closing meetings, Summary of facility operations, Score received etc - same stuff the audit report includes.

We had a different auditor this year, but he did look for these details.

 

On a different note - I also wanted to mention that our HACCP Plan flow diagrams were missing 'Product damaged &/or donated" from our Frozen Warehouse step during this years audit.  These were new to me and to the Internal Auditor consultant we use (who regularly teaches HACCP courses). We were also missing a "Fail" step from the metal detectors - again we hadn't considered documenting this on the process flow diagram before either.

So perhaps others may want to add these before their next audit.

 

Thanks to all who contribute to this community - certainty appreciated.

[kingstudruler1]

Hi there,

 

I'm creating an internal audit for SQF requirements using the SQF supplied checklist for food manufacturing. Could you offer some insight on how to calculate the score? 

 

Thank you!

if you want to score it you can determine that anyway you see fit.   or just use SQFIs method-   1 point for minor, 5 points for major, and 50 for critical.  

[kyrabowden]

Ah I see, thank you for clarifying! 

 

if you want to score it you can determine that anyway you see fit.   or just use SQFIs method-   1 point for minor, 5 points for major, and 50 for critical.  

[tadelong]

I also always use the SQF Audit's scoring system when performing the internal audit. This method makes it very auditable as neither you nor your auditor have to interpret and explain different results.

Big thanks to you who suggested adding columns and hyperlinking  things together; it sounds like a pain to accomplish in a timely manner but that's not always what's important.